DFX Intelligence

S•••• • A••••••••• P•: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

S•••• • A••••••••• P•

CRD 117216

TACOMA, WA

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Search this name across graphsid dfx:ria:cce3069f-dda6-17b9-1609-6d2889c8446a

Data as of Sep 11, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 3
On other graphs: 0
Observed: Nov 1, 2019 to Sep 11, 2026
17 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd= related_bank= bd_reps=0.0
Regulatory AUM: $282M••• Locked
Discretionary RAUM: $253M
Private client RAUM: $276Mderived••• Locked
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $94.1Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
M••••••• T••••• R•••••••	Certified Financial Planner	TACOMA, WA	16	24	n/a	no
A••••• C••••••••• S••••	Chartered Financial Analyst	TACOMA, WA	8	16

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
R•••••••• M•••••••• T•••••	VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER	C	yes	10/2007	Nov 1, 2019	Sep 24, 2024
S••••• A•••••• C•••••••••	PRESIDENT AND CHIEF INVESTMENT OFFICER	D	yes	12/2021	Nov 1, 2019	Sep 24, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Feb 27, 2026

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	1

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$282M	$230M	22.7%	$156M	21.7%	5	4	0	0

Relationships

Registered with (4)

← D•••• C••••••••• D••••••Advisorregistration: current employment
Jun 6, 2022 to presentfactForm ADV
← A••••• C••••••••• S••••Advisorregistration: previous registration
May 15, 2012 to Dec 20, 2013factForm ADV
← M••••••• T••••• R•••••••Advisorregistration: current employment
Nov 17, 2009 to presentfactForm ADV
← T••••• P•••••• R•••

Dated events

Occurred
May 14, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Apr 17, 2024
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Nov 1, 2019
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cce3069f-dda6-17b9-1609-6d2889c8446a
First observed: Nov 1, 2019
Last observed: Sep 11, 2026 12 days ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.